BlackRock and State Street, along with more than a dozen industry participants, are urging regulators to take steps to ward off extreme market volatility.

The fixed-income trade is booming at BlackRock and other investment firms, which are capturing a greater amount of activity -- and fees -- with their ballooning credit ETF businesses.

Banks are likely to accelerate the shedding of their in-house mutual fund businesses in light of the proposed rule.

Advisors should start getting up to speed now if they want to keep their heads above water when the rule begins to be implemented later this year, experts say.

Among the measures commission officials say they're working on is a third-party examination framework.

Anthony Kelly, the new co-head of the SEC’s Enforcement Division subunit, looks to reassure CCOs.

The clearing houses are too important to fail, and the current rules governing their risk management are too lax.

Advisors' most pressing questions on the proposal get answers from SEI's head of practice management solutions.

Voices: Moving from a commission account to a fee-based account with an additional risk tolerance questionnaire does not equal sufficient Know-Your-Customer or suitability measures.

The advisor was a compulsive gambler who continued to bet in an attempt to make his clients whole, says attorney.

The advisor also beat back Wells Fargo's $200,000 in claims for breach of promissory note.

As a repository like Microsoft SharePoint grows, the firm's best content gets dumped in with all the rest - the good, the bad, and the ugly.

BlackRock issued and sold more shares than it was authorized to in its iShares Gold Trust, which could lead to penalties by regulators.

The domestic planning component of advising is likely to be increasingly regulated, and firms should use this to their advantage, Glenn G. Kautt says.

Advisors' biggest concern is that converting to a fee-based model will lead to a drop in income. But it doesn't have to be that way.

The commission also settled related charges against First Southwest, a financial advisor, for failing to document its advisory relationship with the agency for seven months.

The rep was reprimanded for allegedly failing to disclose her business involvement with a kitchen-cabinet installation company in Florida.

FINRA's BrokerCheck shows that 7% of advisors were disciplined for misconduct, including putting clients in unsuitable investments and trading on client accounts without permission, a new study says.

With a proliferation of mobile devices, developers are offering tools that keep compliant records of all types of digital communications.

ETFs may be so complex and subject to such volatility that they require a distinct set of rules from equities, suggested SEC Commissioner Kara Stein.